SEC investigations are serious matters requiring immediate, sophisticated response. If you're facing scrutiny, know what to expect and how to respond.
Expert information to help you understand your rights and options
SEC investigations can lead to substantial penalties, industry bars, and referrals for criminal prosecution. Early strategic decisions significantly affect outcomes. Learn how SEC investigations develop, defense strategies, cooperation considerations, and protecting yourself from the start.
SEC subpoenas require document production and testimony under penalty of contempt. Over-production and inadequate privilege protection create serious risks. Learn how to respond to SEC document demands, privilege issues, testimony preparation, and common production mistakes to avoid.
A Wells Notice signals SEC staff intend to recommend enforcement action—but Wells submissions can change outcomes. Effective submissions require understanding staff concerns and presenting persuasive counter-arguments. Learn Wells Notice procedures, submission strategies, and realistic expectations.
Most SEC enforcement actions settle rather than proceed to trial. Settlement negotiations require understanding SEC priorities, likely penalties, and collateral consequences like industry bars. Learn SEC settlement processes, penalty frameworks, and negotiating favorable resolutions.